Compliance Analyst-(MyComplianceOffice)

This is a contract role and hybrid in Dallas or Chicago.

Summary:

We are seeking a detail-oriented Compliance Analyst with experience in MyComplianceOffice (MCO) and investment account monitoring to support the administration and oversight of employee brokerage account compliance activities. This role will be responsible for monitoring brokerage and investment accounts, reviewing holdings reports, managing account data feeds, administering the MCO platform, and assisting with conflicts of interest reviews. The ideal candidate will possess a strong understanding of financial products, regulatory compliance requirements, and employee trading surveillance processes.

Responsibilities:

• Conduct reviews of employee brokerage accounts to ensure compliance with company policies and regulatory requirements.
• Review holdings reports and transaction activity for potential compliance concerns or policy violations.
• Monitor investment and brokerage account data for completeness, accuracy, and reporting integrity.
• Add, remove, and maintain brokerage accounts within automated data feeds and compliance monitoring systems.
• Perform ongoing administration, maintenance, and cleanup activities within MyComplianceOffice (MCO).
• Investigate exceptions, discrepancies, and account reconciliation issues.
• Assist with the monitoring and tracking of employee conflicts of interest, outside business activities, and personal trading activities.
• Ensure compliance records, disclosures, and certifications are properly documented and maintained.
• Partner with Compliance, Legal, Human Resources, and business stakeholders to resolve compliance-related inquiries.
• Support audits, regulatory examinations, and internal compliance reviews as needed.
• Identify opportunities to improve compliance processes, controls, and reporting efficiency.
• Generate reports and provide compliance-related metrics to management.

Qualifications:

• Bachelor's degree or equivalent work experience.
• Hands-on experience with MyComplianceOffice (MCO).
• Experience reviewing and monitoring investment and brokerage accounts.
• Knowledge of securities, investment products, and brokerage account structures.
• Experience with employee personal trading compliance programs.
• Experience identifying, reviewing, and managing conflicts of interest.
• Strong analytical and investigative skills.
• Excellent attention to detail and accuracy.
• Proficiency in Microsoft Office Suite, especially Excel.
• Strong written and verbal communication skills.
• Experience within financial services, banking, asset management, investment advisory, broker-dealer, or wealth management environments.
• Knowledge of personal account dealing (PAD), code of ethics monitoring, and employee trading regulations.
• Familiarity with regulatory requirements related to employee securities trading and disclosures.
• Experience working with compliance surveillance, attestations, and disclosure management systems
• Pay: 40/hr